To support the continuing development of this highly successful business, the individual will support the compliance department with its surveillance responsibilities. This role will sit within the Central Surveillance division of the Compliance department and will focus on providing support and monitoring across the Firm’s various business lines.
General Duties
Lead the creation of FX surveillance program
Identify and onboard required data sources covering data architecture & data quality controls
Design scenario‑based alerts tailored to retail FX risks
Testing, tuning & effectiveness reviews; conduct pre‑and post‑implementation testing of scenarios.
Design MI that demonstrates control, challenge, and oversight, not just volumes.
Regulatory engagement & audit readiness: maintain regulator‑ready documentation at all times.
Ongoing Program Leadership: own the FX surveillance roadmap (technology, coverage, capability).
Processing of all FX surveillance related tasks, including alerts for both trade and communications, and production of management information
Assist the Team with monitoring of key regulatory developments
Assist senior members of the team with offering compliance advice and guidance to other business units as required
Assist in the implementation of suitable compliance controls to new business initiatives and new products
Processing the Team’s shared mailbox
Assist the Team with completion of “deep dive” ad hoc monitoring tasks
Completion of ongoing tasks that sit within the team’s Compliance Monitoring Program(“CMP”)
Assist with investigating and resolving ad hoc queries from regulators, exchanges and other areas of the business
Assist in the administration of compliance policies and procedures
Support new business initiatives e.g. new products/jurisdictions, acquisitions
Provide training to the business, as required
Knowledge and Experience
Strong understanding of FX markets and/or brokerage experience
Market abuse and surveillance
Data and systems
Regulatory knowledge across the markets support (e.g. US, UK, etc)
FX related qualifications
Managing projects from conception to completion
Computer competency, including Microsoft Outlook/Word/Excel
Qualifications
Fluency in business English required
Preferred University degree/Professional Compliance Qualification
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